Series63 題庫產品免費試用

我們為你提供通过 FINRA Series63 認證的有效題庫，來贏得你的信任。實際操作勝于言論，所以我們不只是說，還要做，為考生提供 FINRA Series63 試題免費試用版。你將可以得到免費的 Series63 題庫DEMO，只需要點擊一下，而不用花一分錢。完整的 FINRA Series63 題庫產品比試用DEMO擁有更多的功能，如果你對我們的試用版感到滿意，那么快去下載完整的 FINRA Series63 題庫產品，它不會讓你失望。

雖然通過 FINRA Series63 認證考試不是很容易，但是還是有很多通過的辦法。你可以選擇花大量的時間和精力來鞏固考試相關知識，但是 Sfyc-Ru 的資深專家在不斷的研究中，等到了成功通過 FINRA Series63 認證考試的方案，他們的研究成果不但能順利通過Series63考試，還能節省了時間和金錢。所有的免費試用產品都是方便客戶很好體驗我們題庫的真實性，你會發現 FINRA Series63 題庫資料是真實可靠的。

免費一年的 Series63 題庫更新

為你提供購買 FINRA Series63 題庫產品一年免费更新，你可以获得你購買 Series63 題庫产品的更新，无需支付任何费用。如果我們的 FINRA Series63 考古題有任何更新版本，都會立即推送給客戶，方便考生擁有最新、最有效的 Series63 題庫產品。

通過 FINRA Series63 認證考試是不簡單的，選擇合適的考古題資料是你成功的第一步。因為好的題庫產品是你成功的保障，所以 FINRA Series63 考古題就是好的保障。FINRA Series63 考古題覆蓋了最新的考試指南，根據真實的 Series63 考試真題編訂，確保每位考生順利通過 FINRA Series63 考試。

優秀的資料不是只靠說出來的，更要經受得住大家的考驗。我們題庫資料根據 FINRA Series63 考試的變化動態更新，能夠時刻保持題庫最新、最全、最具權威性。如果在 Series63 考試過程中變題了，考生可以享受免費更新一年的 FINRA Series63 考題服務，保障了考生的權利。

安全具有保證的 Series63 題庫資料

在談到 Series63 最新考古題，很難忽視的是可靠性。我們是一個為考生提供準確的考試材料的專業網站，擁有多年的培訓經驗，FINRA Series63 題庫資料是個值得信賴的產品，我們的IT精英團隊不斷為廣大考生提供最新版的 FINRA Series63 認證考試培訓資料，我們的工作人員作出了巨大努力，以確保考生在 Series63 考試中總是取得好成績，可以肯定的是，FINRA Series63 學習指南是為你提供最實際的認證考試資料，值得信賴。

FINRA Series63 培訓資料將是你成就輝煌的第一步，有了它，你一定會通過眾多人都覺得艱難無比的 FINRA Series63 考試。獲得了 Uniform Securities State Law 認證，你就可以在你人生中點亮你的心燈，開始你新的旅程，展翅翱翔，成就輝煌人生。

選擇使用 FINRA Series63 考古題產品，離你的夢想更近了一步。我們為你提供的 FINRA Series63 題庫資料不僅能幫你鞏固你的專業知識，而且還能保證讓你一次通過 Series63 考試。

購買後，立即下載 Series63 題庫 (Uniform Securities Agent State Law Examination): 成功付款後, 我們的體統將自動通過電子郵箱將您已購買的產品發送到您的郵箱。（如果在12小時內未收到，請聯繫我們，注意：不要忘記檢查您的垃圾郵件。）

最新的 Uniform Securities State Law Series63 免費考試真題:

1. Goldie Locks is an agent with Bear Broker-Dealers. One of her clients is a single woman, Annie Spinster, who is retired and needs income from her investment portfolio to meet her current needs for liquidity. In addition to investing in mutual funds, Annie likes the thrill of investing in single stocks and asks Goldie for recommendations. Goldie recommends Annie invest some of her money in Alcon (ACL), a medical instrument and supplies company selling on the NYSE, based on the fact that it has a high dividend yield and is paying a dividend of $2.21 a share, which is guaranteed to continue or even increase, Goldie assures Annie.
Has Goldie violated any laws or engaged in any prohibited practices?

A) Both A and B are true.
B) No. Goldie merely responded to a recommendation request from a client, and the recommendation is suitable since the client has a need for current income and the recommended stock pays a high dividend.
C) Yes. At the very least, Goldie has committed fraud since she cannot guarantee that a firm's dividend will continue or increase.
D) Yes. As the agent of a broker-dealer, Goldie is not permitted to make recommendations for specific investments. Only investment adviser representatives and investment advisers can do that.

2. Julia Hasty has recently applied with the Administrator to be a registered investment adviser in the state. Eager to open her new business, she has business cards printed that indicate that she is a "state-registered" investment adviser and visits some local businesses, asking them for permission to put some of her cards in their waiting rooms.
Has Julia violated any of the provisions of the Uniform Securities Act by distributing her business cards?

A) Yes. Julia is not permitted to advertise as a "state-registered" investment adviser until she receives notification of the acceptance of her application by the state Administrator.
B) No. The provisions of the Uniform Securities Act relate to securities, not people.
C) No. As long as her application has been submitted and is pending acceptance, Julia has not violated any provisions of the Uniform Securities Act.
D) No. Julia has merely put her business cards in waiting rooms. She has not opened her business to clients yet.

3. on No: 9
Rich Writewell wants to begin publishing an independent weekly financial newsletter that will provide investment recommendations as well as other financial news items to the general public. Rich hopes that his newsletter will achieve nationwide circulation within a few months.
Which of the following statements is true?

A) Rich may be exempt from registering as an investment adviser if he is a lawyer, accountant, engineer, or teacher. Otherwise, he will have to register.
B) Rich will not have to register as an investment adviser since he is publishing a legitimate financial newsletter for distribution to the general public.
C) Rich will have to register as an investment adviser only if he sells this newsletter to the public. If the publication is to be distributed free of charge, he will not have to register.
D) Rich will have to register as an investment adviser since his publication will include investment recommendations.

4. No: 192
The maximum monetary civil liability that a person who has violated a securities law can be expected to pay is

A) the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any state-determined "pain and suffering" award.
B) the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any income the victim has received on the investment.
C) the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees - any income the victim has received on the investment.
D) the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any state-determined "pain and suffering" award - any income the victim has received on the investment.

5. Which of the following is a security as defined by the Uniform Securities Act (USA)?

A) a term life insurance policy
B) a futures option contract on wheat
C) Both A and B are securities as defined by the Uniform Securities Act.
D) a debenture

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